Alyson Kest

Alyson has 20+ years of legal and compliance experience within the financial services industry. She was the Chief Compliance Officer and Deputy General Counsel at Spearhead Capital Advisors (our predecessor company) and its affiliate broker dealer, Spearhead Capital. During her time there, she was responsible for implementing and enforcing the compliance program for both entities. While in that role, she successfully implemented several enhancements to the firm's compliance program.

 

​Prior to Spearhead, Alyson was the Chief Compliance Officer and Counsel for WBI Investments, Inc. and its affiliates Millington Securities, Inc. and Hartshorne Group, Inc. In this role, she was responsible for the investment advisory and broker dealer compliance programs across the entities.  Prior to WBI, Alyson held a variety of compliance and risk roles at Macquarie Group, Morgan Stanley and Catlin Insurance.​  Alyson began her legal and compliance career as Associate General Counsel at Royal Alliance, where she focused on litigation.​​

 

Alyson holds a JD from Seton Hall Law School and a BA in Communications from Marist University. She also holds Series 7, 24, 66 and 99 registrations and is licensed to practice law in the State of New Jersey.​